NORTHERN TRUST INVESTMENTS, INCORPORATED
Latest filing: Jul 02, 2024 (120 days ago)
AUM
$1,016,556,943,580
13% change vs. 1 year ago
-1% change vs. 3 years ago
26% change vs. 5 years ago
59% change vs. 10 years ago
Employee Count
674
-7% change vs. 1 year ago
10% change vs. 3 years ago
18% change vs. 5 years ago
25% change vs. 10 years ago
Main Office
CHICAGO, IL
50 S LASALLE STREET, CHICAGO, IL, UNITED STATES, 60603-1008
Client AUM
| Discretion | AUM |
|---|---|
| Discretionary | $1,016.6 |
| Non-Discretionary | $0.0 |
| Total | $1,016.6 |
| Client | AUM |
|---|---|
| Retail | $77.8 |
| Pooled | $684.8 |
| Institutional | $254.0 |
| Total | $1,016.6 |
| Retail | Accounts | AUM |
|---|---|---|
| Individual | 22,383 | $8.4 |
| Average Individual AUM | $376,619 | |
| HNW | 12,197 | $69.3 |
| Average HNW AUM | $5,685,205 | |
| Retail Total | 34,580 | $77.8 |
| Average Retail AUM | $2,249,055 |
ADVDB.CO • AUM IN BILLIONS, AVERAGES IN DOLLARS • SOURCE: SEC FORM ADV
SMA Custodians
| Custodian | Location | AUM |
|---|---|---|
| THE NORTHERN TRUST COMPANY | CHICAGO-IL-USA | $237.4 |
ADVDB.CO • SMA AUM IN BILLIONS • SMA INCLUDES RETAIL AND INSTITUTIONAL • SOURCE: SEC FORM ADV
Separately Managed Assets
| Breakdown | AUM |
|---|---|
| Total SMA AUM | $331.7 |
| Retail SMA AUM | $77.8 |
| Institutional SMA AUM | $254.0 |
| Asset Class | % | AUM |
|---|---|---|
| Equity Exch | 65% | $215.6 |
| Equity Non-Exch | 0% | $0.0 |
| Govt Agency | 11% | $36.5 |
| Municipal | 8% | $26.5 |
| Sovereign | 1% | $3.3 |
| IG Credit | 7% | $23.2 |
| HY Credit | 1% | $3.3 |
| Derivatives | 1% | $3.3 |
| Investment Companies | 0% | $0.0 |
| Other Pools | 1% | $3.3 |
| Cash | 6% | $19.9 |
| Other | 0% | $0.0 |
| Total | 101% | $335.1 |
ADVDB.CO • AUM IN BILLIONS • POSSIBLE ROUNDING ERRORS, BUT SOME ADVISERS REPORT SUMS ≠ 100% • SOURCE: SEC FORM ADV
Affiliates
| Affiliates | AUM | Business Types | CRD Number |
|---|---|---|---|
| NORTHERN TRUST GLOBAL INVESTMENTS LTD | $160.1 | 111900 | |
| 50 SOUTH CAPITAL ADVISORS, LLC | $12.0 | 174762 | |
| NORTHERN TRUST SECURITIES, INC. | $1.0 | broker-dealer | 7927 |
| NORTHERN TRUST SECURITIES LLP | $0.0 | broker-dealer | - |
| THE NORTHERN TRUST COMPANY OF HONG KONG LIMITED | $0.0 | - | |
| NORTHERN TRUST FUND MANAGERS (IRELAND) LIMITED | $0.0 | - | |
| THE NORTHERN TRUST COMPANY | $0.0 | trust company | - |
| NORTHERN TRUST GLOBAL INVESTMENTS JAPAN, K.K. | $0.0 | - | |
| NORTHERN TRUST ASSET MANAGEMENT AUSTRALIA PTY LTD | $0.0 | - | |
| NT GLOBAL ADVISORS, INC | $0.0 | - |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
Control Persons
15 active
| Name | Title |
|---|---|
| CARBERRY, CRAIG, RICHARD | CHIEF LEGAL OFFICER/SECRETARY |
| ABUNASSAR, JOHN, GABRIEL | EXECUTIVE VICE PRESIDENT/DIRECTOR |
| HAWKINS, SHERI, BARKER | EXECUTIVE VICE PRESIDENT/DIRECTOR |
| WOJNAR, DARIUSZ | EXECUTIVE VICE PRESIDENT/DIRECTOR |
| TEUFEL, MAYA, GEORGIEVA | SENIOR VICE PRESIDENT/CHIEF COMPLIANCE OFFICER |
| KUMAR, ARCHANA | EXECUTIVE VICE PRESIDENT/CHIEF OPERATING OFFICER/DIRECTOR |
| MANIOUDAKIS, ANGELO, GEORGE | EXECUTIVE VICE PRESIDENT/CHIEF INVESTMENT OFFICER/DIRECTOR |
| CARROLL, STEPHEN, ELLIOTT | SENIOR VICE PRESIDENT/CHIEF FINANCIAL OFFICER/TREASURER |
| JOSHI, KAUSHAL, HARSHAD | SENIOR VICE PRESIDENT/CHIEF INFORMATION OFFICER |
| GAMBA, DANIEL, ERNESTO | CHAIRMAN/PRESIDENT/CHIEF EXECUTIVE OFFICER/DIRECTOR |
| BROMWELL, MAUREEN, MEGAN | EXECUTIVE VICE PRESIDENT/CHIEF MARKETING OFFICER/DIRECTOR |
| MCINERNEY, JOSEPH, WALLACE | SENIOR VICE PRESIDENT/CHIEF RISK OFFICER |
| KAR, PAULAMI | SENIOR VICE PRESIDENT/DIRECTOR |
ADVDB.CO • SOURCE: SEC
Representatives
21 active representatives found, showing 20 random
| Name | City | State | Exams | Designations | |||||
|---|---|---|---|---|---|---|---|---|---|
| WILLIAM HURT | CHICAGO | IL | S63|2002-09-03|S65|2021-07-22 | ||||||
| TERRY WEISSBERG | CHICAGO | IL | S63|2016-06-01 | CHARTERED FINANCIAL ANALYST | |||||
| ANTHONY PIATEK | CHICAGO | IL | S66|2017-10-05 | ||||||
| ELIZABETH SFREDDO | CHICAGO | IL | S65|2014-07-30|S63|2014-12-23 | ||||||
| SEAN MURPHY | CHICAGO | IL | S63|2004-01-26|S65|2015-12-23 | ||||||
| LAUREN METAJ | CHICAGO | IL | S63|2010-05-04|S65|2013-06-11 | ||||||
| ROBIN TARDY | CHICAGO | IL | S63|2000-05-30|S66|2004-03-04 | ||||||
| RICCARDO MARGARITELLI | CHICAGO | IL | S66|2020-06-27 | ||||||
| JOHN ABUNASSAR | CHICAGO | IL | S66|2015-07-29 | ||||||
| EMILY MEYER | CHICAGO | IL | S66|2003-10-31|S65|2016-04-04|S63|2015-12-01 | ||||||
| JUSTIN GUTWALD | CHICAGO | IL | S66|2009-08-12 | ||||||
| MICHAEL BURDEEN | CHICAGO | IL | S66|2015-03-30 | ||||||
| JOSEPH TIRALOSI | CHICAGO | IL | S63|2009-04-17|S65|2011-06-20 | ||||||
| ERIK SPANO | CHICAGO | IL | S63|2001-10-08|S66|2010-11-01|S65|2016-12-03 | ||||||
| ELIZABETH LONGO | CHICAGO | IL | S66|2014-07-25 | ||||||
| HUNTER KNAPP | CHICAGO | IL | S63|1996-04-15|S66|2000-12-14 | ||||||
| ALISON STEWART | CHICAGO | IL | S63|1993-10-06|S65|2015-05-18 | ||||||
| STEPHEN RUSSELL | CHICAGO | IL | S63|2013-12-23|S65|2022-01-07 | ||||||
| ANDREW SHERMAN | CHICAGO | IL | S66|2022-06-09 | ||||||
| TAYLOR COWDREY | CHICAGO | IL | S63|2009-04-10|S65|2011-09-12 | ||||||
ADVDB.CO • SOURCE: SEC
History
| Date | AUM | AUM ∆ | AUM % ∆ | Empl | Empl ∆ | Empl % ∆ |
|---|---|---|---|---|---|---|
| 2024-10-01 | $1,016.6 | $0.0 | 0% | 674 | 0 | 0% |
| 2024-04-02 | $1,016.6 | $0.0 | 0% | 674 | 0 | 0% |
| 2023-04-04 | $902.7 | $113.9 | 13% | 726 | -52 | -7% |
| 2022-04-01 | $1,183.1 | -$166.6 | -14% | 550 | 124 | 23% |
| 2021-04-05 | $1,026.5 | -$10.0 | -1% | 615 | 59 | 10% |
| 2020-04-01 | $860.8 | $155.7 | 18% | 603 | 71 | 12% |
| 2019-04-01 | $806.6 | $209.9 | 26% | 573 | 101 | 18% |
| 2018-04-02 | $836.8 | $179.8 | 21% | 562 | 112 | 20% |
| 2017-04-01 | $681.3 | $335.2 | 49% | 549 | 125 | 23% |
| 2016-04-01 | $623.6 | $392.9 | 63% | 525 | 149 | 28% |
| 2015-04-01 | $692.2 | $324.4 | 47% | 540 | 134 | 25% |
| 2014-04-01 | $638.4 | $378.1 | 59% | 541 | 133 | 25% |
| 2013-04-01 | $529.0 | $487.6 | 92% | 466 | 208 | 45% |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
Other
| STATE REGISTRATIONS |
| IL, AK-07/14/2000, AL-12/20/2000, AR-07/13/2000, AZ-07/12/2000, CA-07/19/2000, CO-07/17/2000, CT-08/11/2000, DC-09/05/2000, DE-08/12/2003, FL-07/27/2000, GA-07/13/2001, HI-07/13/2000, IA-07/13/2000, ID-07/14/2000, IL-07/12/2000, IN-02/08/2001, KS-07/12/2000, KY-07/13/2000, LA-03/28/2002, MA-07/12/2000, MD-07/21/2000, ME-08/07/2000, MI-07/14/2000, MN-07/13/2000, MO-07/12/2000, MS-05/31/2000, MT-07/14/2000, NC-12/19/2000, ND-07/25/2000, NE-08/25/1994, NH-07/17/2000, NJ-07/24/2000, NM-07/18/2000, NV-08/14/2000, NY-01/10/2000, OH-07/13/2000, OK-08/09/2000, OR-07/13/2000, PA-07/12/2000, PR-07/19/2000, RI-07/18/2000, SC-07/18/2000, SD-07/14/2000, TN-07/18/2000, TX-07/26/2000, UT-07/13/2000, VA-07/14/2000, VT-08/14/2000, WA-07/17/2000, WI-07/12/2000, WV-07/21/2000, WY-09/29/2017 |
| ADVISER ACTIVITIES |
|
PORTFOLIO MANAGEMENT PORTFOLIO MANAGEMENT (RIC) PORTFOLIO MANAGEMENT (POOLS) PORTFOLIO MANAGEMENT (SMB) MANAGER SELECTION NEWSLETTERS EDUCATIONAL WORKSHOPS |
| OTHER ACTIVITIES |
|
COMMODITY TRADING ADVISOR BANK TRUST COMPANY |
ADVDB.CO • SOURCE: SEC FORM ADV